Registering Researchers in Authority Files

Registering Researchers in Authority Files

Registering Researchers in Authority Files Karen Smith-Yoshimura OCLC Research UC Berkeley School of Information, Information Access Seminar2013 6 December 1 Scholarly output impacts the reputation and ranking of the institution We initially use bibliometric analysis to look at the top institutions, by publications and citation count for the past ten years Universities are ranked by several indicators of academic or research performance, including highly cited researchers Citations are the best understood and most widely accepted measure of research strength. 2 A scholar may be published under many forms of names Works translated into 50 languages (WorldCat)

Also published as: Avram Noam Chomsky N. Chomsky Journal articles 3

Same name, different people Conlon, Michael. 1982. Continuously adaptive M-estimation in the linear model. Thesis (Ph. D.)--University of Florida, 1982. 4 One researcher may have many profiles or identifiers (from an email signature block) Profiles: Academia / Google Scholar / ISNI / Mendeley / MicrosoftAcademic / ORCID / ResearcherID / ResearchGate / Scopus / Slideshare / VIAF / Worldcat 5 Registering Researchers in Authority Files Task Group How to make it easier for researchers and institutions to more accurately measure their scholarly output? Challenges to integrate author identification Approaches to reconcile data from multiple sources Models, workflows to register and maintain integrated researcher information 6 Registering Researchers in Authority

Files Task Group Members Micah Altman, MIT - ORCID Board member Michael Conlon, U. Florida PI for VIVO Ana Lupe Cristan, Library of Congress LC/NACO trainer Laura Dawson, Bowker ISNI Board member Joanne Dunham, U. Leicester Amanda Hill, U. Manchester UK Names Project Daniel Hook, Symplectic Limited Wolfram Horstmann, U. Oxford Andrew MacEwan, British Library ISNI Board member Philip Schreur, Stanford Program for Cooperative Cataloging Laura Smart, Caltech LC/NACO contributor Melanie Wacker, Columbia LC/NACO contributor Saskia Woutersen, U. Amsterdam Thom Hickey, OCLC Research VIAF Council, ORCID Board 7 Stakeholders & needs Researcher Funder University administrator Journalist Librarian Disseminate research Compile all output

Find collaborators Ensure network presence correct Track research outputs for grants Collate intellectual output of their researchers Retrieve all output of a specific researcher Uniquely identify each author Associate metadata, output to researcher Identity management Disambiguate names system Link researcher's multiple identifiers Disseminate identifiers Associate metadata, output to researcher Collate intellectual output of each researcher Aggregator (includes Disambiguate names publishers) Link researcher's multiple identifiers Track history of researcher's affiliations Track & communicate updates 8 Some functional requirements Researcher and university administrator as a stakeho Link multiple identifiers a researcher might have to collate output Associate metadata with a researchers identifier that resolves to the researchers intellectual output. Verify a researcher/work related to a researcher is

represented Register researcher who does not yet have Funder and auniversity administrator asaapersistent stakeholder identifier Link metadata for a researchers output to grant funders data 9 More functional requirements Librarian as a stakeholder Create consistent and robust metadata Associate metadata for a researchers output with the correct identifier Disambiguate similar results Merge entities that represent the same researcher and split entities that represent different researchers 10 Yet more functional requirements

regator and identity management system as a stakeho Link a researchers multiple identifiers Associate an identifier with an identity which resolves to information about the researcher Determine whether authority record represents a single identity Affiliate an researcher with multiple departments, institutions, disciplines Track history of a researchers various affiliations over time Merge entities representing the same researcher & split entities representing different researchers Communicate information to other systems Tag each data element with its source or provenance Support batch searching and updating Support Unicode to record researchers names and citations in their own language and writing system 11 Systems profiled (20) Authority hubs: Digital Author Identifier (DAI) Lattes Platform LC/NACO Authority File Names Project Open Researcher and Contributor ID (ORCID) ResearcherID Virtual International Authority File (VIAF) Current Research Information System (CRIS): Symplectic

Identifier hub: International Standard Name Identifier ational research portal: National Academic Research and Collaborations Informat System (NARCIS) 12 Systems profiled (20) Online encyclopedia: Wikipedia Reference management: Research & collaboration hub: nanoHUB Researcher profile systems: Community of Scholars Google Scholar LinkedIn SciENcv VIVO Subject author identifier system: Subject repository: arXiv 13 Partial overview: Authority & identifier hubs Digital Author Identifier

Lattes Platform ISNI LC/NACO Authority File ORCID ResearcherID VIAF Researchers in all Dutch CRIS & library catalogs Brazilian researchers and research institutions Data from libraries, open source resource files, commercial aggregators, rights management organizations. Includes performers, artists, producers, publishers Persons, organizations, conferences, place names, works Individual researchers plus data from CrossRef/Scopus, institutions, publishers Researchers in any field, in any country Library authority files for persons, organizations, conferences, place names, works 66K 2M people, 4K inst. 7M total;

720 K researchers 9M total; ? researchers 200K 250K 26M people; ? researchers 14 Some overlaps 2013-12-06 15 ISNI & ORCID Complementary systems with two different approaches ISNI: Consolidates data fromORCID: Researchers selfmultiple databases register Share two goals: 1. Assign and share identifiers so both databases have only one identifier for a specific person 2. Share publicly available metadata Coordination:

ISNI allocated range of identifiers for ORCIDs exclusive use ORCID using ISNIs for organizations Developing interoperation: consult ISNI database during ORCID registration From: ISNIs for researchers 2013-09 16 /345 Partial overview: CRIS & Researcher Profile Systems CRIS (e.g. Symplectic) Community of Scholars Google Scholar LinkedIn SciENcv VIVO Institutional data sources plus article & citation, reference databases, bibliographies. > 100K Author names, identifiers, affiliations, bibliography, grants, professional activites Researcher-created profiles plus over 70 > 3M article & citation databases

profiles Millions Authors of publications in commercial, ? "verified" institutional, & web sources indexed by research Google Scholar. profiles 200M; International user base; profiles created by ? individuals & organizations. researchers National Institutes of Health pilot to link researchers to their grants and output. Data Planned: from federal and non-federal sources. >100K Embedding ORCIDS Sources: funding agencies, institutions, 1M people, scholar self-reports, open source & publisher 10M data. Profiles include all scholarly output & publications research, teaching, service activities 17 Overlap Overlap among among

members of group group actor actor types? types? How are differences in data data models models ,, provenance provenance maintained maintained ?? Google Google Scholar Scholar LinkedIn LinkedIn Mendeley Mendeley Libraries NACO

NACO RERO RERO GNL GNL Book Publishers Ringold (Org Names) ISNI Registration Agencies/ Members Bowker Individual Researchers ORCID Member Research Orgs

Scholarly Publishers National Research Institutions VIVO Member Research Orgs Individually Individually Maintained Maintained Profile Profile VIAF VIAF (Identifiers) (Identifiers) Individuals, Individuals, Pseudonyms, Pseudonyms, Organizations, Organizations, Uniform Uniform titles,

titles, Fictional Fictional Names Names Library Library Catalogs Catalogs Library Library Catalog Catalog Gateway Gateway Funder Funder Maintained Maintained Profiles Profiles (e.g. (e.g. ScienceCV) ScienceCV) ORCID: ORCID: (Identifiers (Identifiers & & Researcher

Researcher outputs) outputs) Living Living Researchers Researchers National National Identifier Identifier Systems Systems (Identifier) (Identifier) E.g. E.g. DAI DAI VIVO: VIVO: (Researcher (Researcher Outputs) Outputs) Researchers Researchers from from Member Member Institutions

Aggregator: Aggregator: (Content Type) (Content Type) Scope Scope Aggregator: Aggregator: Internal/ Internal/ Private Private Controlled Controlled Information Information Source Source Uncontrolled Uncontrolled Information Information Source Source Anonymous Pull ISNI

ISNI (Identifiers) (Identifiers) Individuals, Individuals, Pseudonyms, Pseudonyms, & & Organizations Organizations CrossRef: CrossRef: (Publication) (Publication) Journal Journal Authors Authors How How do do corrections, corrections, annotations, and conflicting conflicting assertions assertions on on public profile

presentation presentation propagate propagate back back ?? Institutional Institutional Repository Repository Catalogs Catalogs Institutional Institutional Repository Repository Gateway Gateway Authenticated Pull Authenticated Push Actor Type Specific Actor CRIS

CRIS Instances Instances E.g. E.g. Symplectic, Symplectic, METIS METIS Organizational Organizational Directory Directory Profile Profile Harvard Harvard Profiles/Other Profiles/Other Institutionally Institutionally Deployed Deployed Profile Profile systems systems CAP CAP Public Public

View View Question ? Some possibly emerging trends Widespread acknowledgement that persistent identifiers for researchers is needed Registration files rather than authority files for researcher identification Universities assigning identifiers to researchers Assigning ORCIDs to authors when submitting electronic dissertations in institutional repositories Pilot to automatically generate preliminary authority records from publisher files (Harvard U. press, one other) Assigning ISNI identifiers to their researchers. Assigning local identifiers to researchers who dont have one. Using UUIDs (Universally Unique identifiers) to map to other identifiers like ORCID. 19 More possibly emerging trends Open data/public access mandates will require more widespread

use of identifiers. Open access policy in support of open and unrestricted access to published research Free and open access to publicly-funded research free online accessis the most effective way of ensuring that the fruits of its research can be accessed, read and used as the basis for further research. Increasing use of ORCIDs and ISNIs, large international efforts to disambiguate names. 20 Yet more possibly emerging trends Researchers with multiple identifiers in multiple systems Researcher web sites asking that participants have ORCIDs Recognition that there is no one central authority file Linking between library and non-library domains. Publishers using linked data Increasing interoperability between systems. Automatic addition of ISNIs to LC/NACO authority records ISNI VIAF interoperability procedures ORCID and ISNI coordination CRIS integration with VIVO More formats to represent metadata about researchers. 21

Opportunities? Identifiers instead of text strings Role of authority records Link article authors to those in library authority files. Link and integrate all scholarly output Generate authority records from universitys faculty files Third-party reconciliation or resolution services 22 Nascent recommendations Criteria for stakeholders to select identifier for the context or domain of applicability. Researcher: Obtain persistent identifier before submitting any output. Librarian/university administrator/aggregator: Assign persistent identifiers to authors at point of submission if dont already have one Electronic dissertations in institutional repositories Papers, datasets to research websites Articles to journal aggregators 23 More nascent recommendations Hub/aggregator:

Establish maintenance mechanism to: Correct information about a researcher Merge entities representing same person Split entities representing different researchers. Establish protocols to communicate changes to original source Create framework to identify privacy & rights issues Address interoperability of standards for both formats and data elements 24 Thanks for your [email protected] attention. @KarenS_Y ers.html 2013 OCLC. This work is licensed under a Creative Commons Attribution 3.0 Unported License. Suggested attribution: This work uses content from [presentation title] OCLC, used under a Creative Commons Attribution license:

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